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Scottsdale, AZ • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| UT | RA | APPROVED | 2024-06-26 |
| TX | RA | APPROVED | 2023-11-06 |
| AZ | RA | APPROVED | 2022-10-03 |
Branch Locations
Scottsdale, AZ • United States
7702 E Doubletree Ranch Road Suite 300, Scottdale, AZ 85258 • United States
2975 W Executive Parkway Suie 179, Lehi, UT 84043 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Horter Investment Management | Cincinnati | OH | 03/2015 | 09/2017 |
| Simple Plan Financial | Mesa | AZ | 01/2016 | 12/2018 |
| Granger & Brown Investments | Mesa | AZ | 09/2016 | 10/2020 |
| Stronghold Capital Partners Llc | Gilbert | AZ | 09/2022 | Present |
| Stronghold Wealth Partners Llc | Scottsdale | AZ | 07/2022 | Present |
| Loandepot | Chandler | AZ | 04/2021 | 06/2022 |
| Academy Mortgage | Chandler | AZ | 10/2020 | 03/2021 |
| Calchoice Wealth Management, Inc. | Scottsdale | AZ | 09/2017 | 12/2018 |
| Elevate | Gilbert | AZ | 09/2022 | 10/2022 |
| Creekside Home Buyers | Scottsdale | AZ | 11/2018 | 10/2020 |
| Granger & Brown Wealth Management | Scottsdale | AZ | 05/2017 | 10/2020 |
| Uber | Scottsdale | AZ | 09/2019 | 03/2020 |
| Simple Life Investments | Scottsdale | AZ | 08/2014 | 11/2016 |
| Three Past Nine, Llc | Scottsdale | AZ | 07/2022 | Present |
| Sterling Revenue Group | Mesa | AZ | 12/2023 | 04/2024 |
| Retirement Level Up | Scottsdale | AZ | 02/2024 | 04/2026 |
| Retirement Level Up, Llc | Scottsdale | AZ | 02/2026 | Present |
| Ashthorn Group Llc | Chandler | AZ | 08/2026 | Present |
Mr. Brown has the following Other Business Activities, (OBA). Mr. Brown is a licensed insurance agent who offers and transacts life and annuity insurance products through Stronghold Wealth Partners and the Ashthorn Group. These insurance activities are marketed to the public under the name Retirement Level Up LLC, which is Mr. Browns wholly owned company. In this capacity, Mr. Brown receives commission-based compensation for the sale of insurance products. This compensation arrangement creates a material conflict of interest because it gives Mr. Brown an incentive to recommend insurance products based on the compensation received rather than solely on a client's needs. These insurance activities are separate from the fiduciary investment advisory services Mr. Brown provides as an Investment Advisor Representative of Stronghold Capital Partners. He devotes approximately 80 hours per month to these insurance activities, which may occur during or outside normal market hours. Additionally, as owner of Retirement Level Up, LLC, Mr. Brown develops and maintains an educational/marketing platform that includes a website, videos, educational seminars and other marketing and business-development activities. These activities discuss general financial information, the current state of the stock market, economy and retirement topics. They are conducted for educational and business-development purposes only and do not involve the provision of personalized investment advice. Mr. Brown is also the owner of Three Past Nine LLC, a business holding company. He spends approximately 1 hour a month during market and non-market hours in this endeavor. As mentioned above, practices listed above represent conflicts of interest because it gives an incentive to recommend products based on the commission amount received. This conflict is mitigated by disclosures, procedures, and the firm's fiduciary obligation to place the best interest of the client first and the clients are not required to purchase any products. Clients have the option to purchase these products through another insurance agent of their choosing.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2022-09-07 |
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